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Category Archives: FINRA

June 01

FINRA

FINRA Forward: What It Means for Investors

The Financial Industry Regulatory Authority (FINRA) is a not-for-profit self-regulatory organization which protects the integrity of the market and protects investors, specifically for member brokerage firms doing business in the United States. FINRA creates and enforces rules, educates the public, and registers and trains broker-dealer personnel. On April 21, 2025, FINRA launched a new initiative entitled “FINRA Forward,” which is aimed at modernizing its regulations, improving member firm compliance, and…

May 22

Business and Corporate Services, FINRA

Market Volatility Exposes Risks in Structured Note Investments

As recent market swings rattle investor portfolios, many are realizing the steep risks embedded in structured note investments once marketed as safe or principal-protected. This article outlines how structured notes can fail during volatile conditions and how Miller Shah LLP supports institutional and individual investors pursuing recovery for losses stemming from misrepresented or poorly structured financial products. What are Structured Notes? A structured note is a combination of a bond…

April 03

FINRA, Securities

Supreme Court FINRA Ruling Allows Case Against Alpine Securities

On March 14th, 2025, the Supreme Court denied Alpine Securities’ request to halt Financial Industry Regulatory Authority (FINRA) expulsion proceedings against it. The Supreme Court’s denial of Alpine’s appeal suggests the judiciary recognizes FINRA’s enforcement authority as a self-regulatory entity and holds implications for the structure of non-governmental securities organizations. FINRA is a private, self-regulating organization that develops and implements enforcement rules for broker-dealer firms. FINRA is overseen by the…

March 24

FINRA, Securities

Robinhood FINRA Settlement: Broker to Pay $29.75M for Violations

Robinhood Markets, Inc. (“Robinhood”), an electronic trading platform known for offering commission-free trading via its mobile app, has agreed to pay a $26 million settlement to the Financial Industry Regulatory Authority (“FINRA”) over accusations that it failed to address warning signs of potential misconduct and did not verify the identities of thousands of its customers. The company must also pay $3.75 million in restitution to customers. Robinhood did not admit…

February 27

FINRA, Securities

SEC Enforcement Actions Target Hedge Fund Fraud in Washington, D.C.

On February 26, 2025, the Securities and Exchange Commission (“SEC”) announced in a press release that it charged Alan Burak, the founder and sole member of purported “systemic asset management firm” Never Alone Capital LLC (“Never Alone”), with orchestrating a fraudulent scheme that amassed close to $4 million, the majority of which Mr. Burak used for personal expenses. According to the complaint filed by the SEC, between at least 2018…

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